Conflicts of Interest in the Guernsey Financial Services Sector

Course Summary

This half day course will help delegates understand the meaning of a Conflict of Interest. Delegates will learn the regulatory requirements in relation to Conflicts of Interest, how to identify potential conflicts and how to manage them.

Introduction

A potential conflict exists when there is a possibility that an individual’s outside financial interests could directly and significantly affect the individual’s professional actions or decisions. Knowing how to define a conflict of interest isn’t always easy. On occasions, people can have a conflict of interest without realising it which can affect a business in many ways.

Topics

  • Defining Conflicts of Interest
  • Corporate Governance Requirements
  • Identification & Management
  • What is considered Inappropriate Entertainment?
  • Disclosure
  • Senior Management Responsibilities
  • Personal Conflicts in the Workplace

Course Benefits

After attending the course, participants will be able to identify conflicts within the workplace, understand their Conflicts of Interest Policy and know how and when to disclose conflicts.

Tutor Profile

Lindsay Fox is the founder of Platinum Compliance (Guernsey) Limited. With over 30 years in the Guernsey financial services industry, Lindsay has experienced a variety of roles throughout her career, including Asset Management, Fund Administration, New Business, Global Custody, Credit Risk, Banking and Training, as well as involvement in GFSC visits, resulting in a thorough understanding of industry needs from a regulatory and operational perspective. ​Lindsay holds the Institute of Directors (IOD) Diploma in Company Direction, the International Compliance Association (ICA) Diploma in Compliance (Distinction), the Institute of Chartered Secretaries and Administrators (ICSA) Certificate in Offshore Finance and Administration and the Securities and Investments Institute's (SII) Investment Administration Qualification (IAQ). For more information, please visit www.platinumcompliance.co.uk

Course at a Glance

  • Next Start Dates: New dates TBA
  • CPD Points: 3
  • Course Cost: £195.00
  • Course Length: 3 hours 9am – 12pm

Prerequisites:

Working in the financial services sector

There are no dates currently available for this course, If you would like to register your interest please complete the form below:

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